Harold D. Pope

OSAIC WEALTH

MATTOON, IL 61938-2249

Some features on this profile are disabled

CRD#: 1051135

Professional summary

Harold Duane Pope, CFP® is a registered financial advisor currently at OSAIC WEALTH, INC. located in Mattoon, Illinois.

Harold is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. Harold has worked at 8 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 24 and Series 4 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

***SECURITIES AMERICA ADVISORS, INC. POSITION: Financial Advisor NATURE: SECURITIES AMERICA ADVISORS - INVESTMENT ADVISORY - IAR INVESTMENT RELATED: Yes NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 40 START DATE: 12/01/1999 ADDRESS: 1216 Lakeland Blvd, Mattoon IL 61938 DESCRIPTION: Work as a financial advisor to clients under the supervision of Securities America Advisors, Inc. ***PACESETTER UNIVERSAL INSURANCE AGENCY, INC, POSITION: Sales at retail NATURE: 2) PACESETTER UNIVERSAL INSURANCE SALES - AGENT INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 2 START DATE: 12/01/1999 ADDRESS: 1216 Lakeland Blvd, Mattoon IL 61938 DESCRIPTION: Retail insurance sales to client. Producer licensed in the state of IL. ***MINISTER POSITION: minister/helper NATURE: UNITED PENTECOSTAL CHURCH - LICENSED MINISTER INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 2 START DATE: 12/31/1994 ADDRESS: 12 Greenbriar Drive #3, Mattoon IL 61938 DESCRIPTION: Assist local pastor in the needs of our church as well as help other pastors and churches with religious needs. ***REAL ESTATE RENTAL PROPERTY POSITION: Owner NATURE: RENTAL PROPERTY - OWNER INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 12/01/1994 ADDRESS: 12 Greenbriar Drive #3, Mattoon IL 61938 DESCRIPTION: I own one apartment and I rent it to a single renter on a month to month basis. I have not other business relationship with this renter.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Harold Duane Pope's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Harold Duane Pope's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Experience

Current

June 14, 2024 - Present

OSAIC WEALTH, INC.

Office #1: 1216 Lakeland Blvd, Mattoon, IL 61938-2249

RIA

CRD#: 23131

MATTOON, IL

Current

June 14, 2024 - Present

OSAIC WEALTH, INC.

Office #1: 1216 Lakeland Blvd, Mattoon, IL 61938-2249

RIA

CRD#: 23131

MATTOON, IL

Past

January 12, 2001 - June 14, 2024

SECURITIES AMERICA ADVISORS, INC.

RIA

CRD#: 110518

MATTOON, IL

Past

December 21, 1999 - June 14, 2024

SECURITIES AMERICA, INC.

CRD#: 10205

MATTOON, IL

Past

December 6, 1999 - December 7, 1999

SECURITIES AMERICA, INC.

CRD#: 10205

LAVISTA, NE

Past

November 19, 1989 - December 17, 1999

OSAIC WEALTH, INC.

CRD#: 23131

SCOTTSDALE, AZ

Past

October 23, 1984 - November 19, 1989

INTEGRATED RESOURCES EQUITY CORPORATION

CRD#: 6403

Past

April 16, 1984 - December 7, 1984

SIGNATOR INVESTORS, INC.

CRD#: 468

Past

April 16, 1984 - October 17, 1994

JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY

CRD#: 5181

BOSTON, MA

Past

August 2, 1983 - October 5, 1983

MIDSTATE INVESTMENTS & SECURITIES, INC.

CRD#: 10964

Past

July 26, 1983 - March 8, 1984

CLAYTON BROKERAGE CO. OF ST. LOUIS, INC.

CRD#: 6577

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

OSAIC WEALTH, INC.

CRD#: 23131 / SEC#: 801-54859, 8-40218

RIA

Registered Investment Advisory firm - SEC (9/10/1997 Approved)

Broker-Dealer Firm Regulated by FINRA (Denver district office)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Delaware
(6/14/2024)

Florida
(6/14/2024)

IAR

Florida
(9/25/2024)

Illinois
(6/14/2024)

IAR

Illinois
(6/14/2024)

Kentucky
(6/14/2024)

Louisiana
(6/14/2024)

Maryland
(6/14/2024)

Michigan
(6/14/2024)

Minnesota
(6/14/2024)

Mississippi
(6/14/2024)

Missouri
(6/14/2024)

New Hampshire
(6/14/2024)

New York
(6/14/2024)

Oklahoma
(6/14/2024)

Tennessee
(6/14/2024)

Texas
(6/14/2024)

IAR

Texas
(6/14/2024)

West Virginia
(8/28/2024)

Wisconsin
(6/14/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 9/10/1983

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/16/1982

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 9/27/1983

General Securities Principal Examination

Principal/Supervisory Exam

Series 4

Date: 3/20/1982

Registered Options Principal Examination

SRO Registrations

FINRA

Current Firm

OSAIC WEALTH, INC.

CRD#: 23131 / SEC#: 801-54859, 8-40218

RIA

Registered Investment Advisory firm - SEC (9/10/1997 Approved)

Broker-Dealer Firm Regulated by FINRA (Denver district office)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255

Mailing Address

18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255

Phone number

(800) 821-5100

Established

Delaware since 08/05/1988

Firm type

Corporation

Fiscal year end

December

Firm Size

Large

# of Employees

8,717

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

OSAIC WEALTH, INC ADV PART 2A (10/20/2025)

SIGNATOR MANAGED ACCOUNT PLATFORM (3/31/2025)

Direct owners and executive officers

Name	Position	CRD#
OSAIC, INC.	SHAREHOLDER
CORNICK, GREGORY ALLEN	CEO, PRESIDENT, DIRECTOR	3132991
FORD, ERINN JUNE	DIRECTOR	2176816
MIHAL, SHAWN MICHAEL	SVP, CHIEF COMPLIANCE OFFICER	3262384
MITCHELL, CHRISTOPHER MILLS	CORPORATE TREASURER, FINANCIAL PRINCIPAL	2420144
PRICE, JAMES DALE	CHAIRMAN	1243224
SCHLUETER, MATTHEW ADAM	EVP, OPERATIONS AND TECHNOLOGY SOLUTIONS, DIRECTOR	2627931

Regulatory assets under management

Total Number of Accounts	797,559
AUM (Assets Under Management)	$ 200,266,275,275

Disclosures

Regulatory Event	50
Arbitration	31
Bond	7

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
11/14/2025	Cover Page	Report
12/18/2024	Cover Page	Report
01/26/2024	Cover Page	Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Similar Advisors

Raylonte Roach

EAGLE STRATEGIES LLC

IAR

BETHESDA, MD

Adam Ausloos

ADVICEWORKS WEALTH ADVISORS

IAR

SARASOTA, FL

Mark Surratt

TRANSAMERICA FINANCIAL ADVISORS, LLC

Centennial, CO

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Harold D. Pope

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Harold Duane Pope's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Harold Duane Pope's CRS (Customer Relationship Summary).

Certified licenses

Experience

OSAIC WEALTH, INC.

SECURITIES AMERICA ADVISORS, INC.

SECURITIES AMERICA, INC.

SECURITIES AMERICA, INC.

OSAIC WEALTH, INC.

INTEGRATED RESOURCES EQUITY CORPORATION

SIGNATOR INVESTORS, INC.

JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY

MIDSTATE INVESTMENTS & SECURITIES, INC.

CLAYTON BROKERAGE CO. OF ST. LOUIS, INC.

Primary Firm SEC Registration

OSAIC WEALTH, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 9/10/1983

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 1/16/1982

Series 24

Date: 9/27/1983

Series 4

Date: 3/20/1982

FINRA

Current Firm

OSAIC WEALTH, INC.

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

OSAIC WEALTH, INC.

TRUST BUT VERIFY

Similar Advisors